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Whistleblower Protection Policy

Purpose

This policy aims to provide guidelines on whistle-blower protection and reporting and assist in creating a culture within the Kanda Group that encourages people to report any instances of suspected unethical, illegal, fraudulent or undesirable conduct involving Kanda Group businesses and provides protections and measures so that those persons who make a report may do so confidentially and without fear of intimidation, disadvantage, or reprisal.

  • Specific protections to whistleblowers who disclose information concerning misconduct or an improper state of affairs regarding the Kanda Group is provided by the Corporations Act 2001 (Cth).
  • Specific protections to whistleblowers who disclose information on tax related matters is provided by the Taxation Administration Act 1953 (Cth).
  • The Treasury Laws Amendment (Enhancing Whistleblower Protections) Act 2019 has expanded whistleblower protections previously contained in the Corporations Act 2001 and the Taxation Administration Act 1953 (Cth).

Scope

This policy applies to all directors and team members of the Kanda Group and external eligible whistleblowers, including suppliers and their team members and relatives.

The principles of this policy must be complied with by all Kanda Group team members and by each of its divisions and business units listed below:

  • Kanda Holdco Pty Ltd
  • Kanda Management Services Pty Ltd
  • Kanda Healthcare Pty Ltd
    • Disability Services
    • Children, Youth and Family Services
    • Kanda Family Day Care
  • Kanda PHP Pty Ltd
  • Vets and Aged Care
  • Nursing Australia
  • Access Support Coordination Pty Ltd
  • All Plan Management Pty Ltd
  • GSL: A Good Start to Life Pty Ltd
  • Home Nurse Pty Ltd
  • Treehouse Innovative Families Pty Ltd
  • Kanda Foundation Pty Ltd

Policy

The Kanda Group is committed to the highest standards of conduct and ethical behaviour in all our business activities. We understand that whistleblowers play an important role in identifying and calling out misconduct and harm to consumers and the community.

The Kanda Group will:

  • ensure transparency and accountability in its administrative and management practices
  • ensure employees operate in an ethical, legally compliant, and proper manner
  • ensure the whistle-blower is protected from retaliation against a report
  • ensure the principle of natural justice is upheld for whoever is the subject of the report
  • not tolerate conduct that breaches this policy
  • not tolerate retaliation against a whistle-blower.

Whistleblower protections provided to eligible whistle-blowers

Detriment protection

The whistle-blower (and those related to the whistle-blower) will be protected from detriment by any person internal or external to the organisation. Actions that are not detrimental, include:

  • administrative action that is reasonable for the purpose of protecting a discloser from detriment
  • managing a discloser’s unsatisfactory work performance, if the action is in line with the Kanda Group’s performance management framework.

Actions to be taken to protect a whistle-blower from detrimental acts include:

  • providing support services (including counselling or other professional or legal services) that are available to whistle-blowers
  • should the whistle-blower feel it necessary, reassigning the whistle-blower to another location, to a role of the same level
  • making modifications to the whistle-blower’s workplace or the way they perform their work duties
  • reassigning or relocating other employees involved in the disclosable matter
  • reminding management of their responsibilities when managing the performance or taking other action relating to a whistle-blower
  • should the whistle-blower feel that they have suffered detriment, they may lodge a complaint to the responsible person which will then be investigated.

Interventions will be implemented upon the detriment being proven true.

Identity protection

The whistle-blower’s identity and information will be kept confidential, unless:

  • consent is provided to disclose their information
  • the information is disclosed, when:
    • the information does not include the disclosers’ identity
    • all reasonable steps have been taken to reduce the risk that the discloser will be identified from the information, and
    • it is reasonably necessary for investigating the issues raised in the disclosure.
  • their identity is disclosed to:
    • the Australian Securities and Investments Commission (ASIC)
    • a member of the Australian Federal Police
    • a legal practitioner, to obtain legal advice or legal representation in relation to the whistleblowing laws, or
    • anyone else prescribed by the regulations.

Information may only be disclosed if it is necessary for the purposes of investigating the disclosure.

Actions to be taken to reduce the risk of identity disclosure:

  • All personal information or reference to the whistle-blower witnessing an event will be redacted.
  • The whistle-blower will be referred to in a gender-neutral context.
  • Where possible, the discloser will be contacted to help identify certain aspects of their disclosure that could inadvertently identify them.
  • Disclosures will be handled and investigated by qualified employees.

Secure record keeping and information sharing

  • All paper and electronic documents and other materials relating to disclosures will be stored securely.
  • Access to all information relating to a disclosure will be limited to those directly involved in managing and investigating the disclosure.
  • Only a restricted number of people who are directly involved in handling and investigating a disclosure will be made aware of a discloser’s identity (subject to the discloser’s consent) or information that is likely to lead to the identification of the discloser.
  • Communications and documents relating to the investigation of a disclosure will not be sent to an email address or to a printer that can be accessed by other employees.
  • Each person who is involved in handling and investigating a disclosure will be reminded about the confidentiality requirements, including that an unauthorised disclosure of a discloser’s identity may be a criminal offence.

Compensation and other remedies—the whistle-blower will be provided with additional support and compensation through the courts if:

  • they suffer loss, damage, or injury because of a disclosure, and
  • the entity failed to take reasonable precautions and exercise due diligence to prevent the detrimental conduct.

Whistle-blowers are encouraged to seek independent legal advice.

Civil, criminal, and administrative liability protection—the whistle-blower will be provided with protections from:

  • civil liability (e.g. any legal action taken as a result of whistleblowing)
  • criminal liability (e.g. attempted prosecution for unlawfully releasing information)
  • administrative liability (e.g. disciplinary action for making the disclosure).

Note: the protections do not grant immunity for any misconduct a discloser has engaged in that is revealed in their disclosure.

Should a whistle-blower feel that any of their protections have been breached, they can submit a complaint to the responsible person or to ASIC. It is also advised that they seek independent legal advice.

Penalties for breach of whistle-blower protection

Severe civil and criminal penalties will apply to those who breach the protections provided to whistle-blowers under the Act. Courts are empowered to make orders for relief against a company if they fail to protect a whistle-blower from detriment.

Reporting internally

Reports made by a whistle-blower must be based on reasonable grounds and be a disclosable matter. The report should (where possible) be in writing and contain details of:

  • the nature of the disclosable matter
  • the person responsible for the disclosable matter
  • the facts on why the whistle-blower believes the disclosable matter has occurred
  • (if known) the nature and whereabouts of any further evidence that supports the report.

All disclosable matters must be treated as confidential and (without the whistle-blower’s consent) must not be disclosed to anyone not connected with the investigation, unless the responsible person is obliged to do so by law. If the whistle-blower wishes to make their report anonymously, their wish is honoured unless overridden by due process of law. However, there may be difficulties with keeping them updated with relevant information as a result of remaining anonymous.

Employees need to be aware that only disclosable matters are covered by this policy. Disclosures, such as a personal work-related grievance, do not qualify for protection under the Act.

How to make a disclosure

Eligible whistleblowers can report via the following channels:

Protected Disclosure Officer

In order to ensure appropriate escalation if a disclosure is made internally, and timely investigation, we request that reports are made to any one of our Protected Disclosure Officers, listed below:

By post

Reports may also be posted PO Box 446, Bundaberg Q 4670 (marked Private & Confidential and to the attention of one of the Protected Disclosure Officers).

Employees may wish to report their concerns to an independent third-party. A report may be made to East Coast Human Resource Group. Reports may be made anonymously, but if contact details are provided, those contact details will only be given to the employer with employee consent.

To speak up – Independent third party

A report may be made to the East Coast Human Resource Group reporting service. Reports may be made anonymously, but if you provide your contact details, those details will only be provided to CMS if you consent.

Reporting options are:

  • Michalle Faulkner – Managing Director, East Coast Human Resource Group
  • by email: michalle@eastcoasthr.com.au
  • by post: PO Box 635, Buddina. Marked Private & Confidential and to the attention of Michalle Faulkner.

Investigation

The responsible person will need to assess each disclosure made to determine:

  • whether whistle-blower protections will apply (if unsure, proceed as if they do apply), and
  • if a formal, in-depth investigation is required.

It is important that the responsible person and investigating officer focus on the substance of the disclosure, not possible motives for the whistle-blower to have made the disclosure. Whistle-blowers are not required to act in good faith to be protected.

If an investigation is necessary, the responsible person will arrange for an investigating officer to conduct an investigation to determine the legitimacy of the allegations. The investigation is to be conducted thoroughly, but with the aim to conclude the investigation as early as possible.

The whistle-blower, subject to privacy and confidentiality considerations, will be kept informed of the investigation process and (where appropriate) its outcome. They must maintain full confidentiality of any information they receive.

The person who is subject to a disclosure also needs to be informed about the investigation. However, this can be at any time so long as it is before making any adverse findings against them. This is in the event there may be concerns that the individual will destroy information, or the disclosure needs to be referred to ASIC or the Federal Police. A worker who is subject to the disclosure may contact the Kanda Group’s EAP – Sonder.

When conducting an investigation, the investigating officer must:

  • address all relevant questions
  • conduct the investigation under strict confidence
  • observe the rules of natural justice
  • meet with the person upon whom the allegations are against, allowing them the opportunity to comment beforehand (according to the rules of natural justice)
  • compile all the information into an investigation report for further review.

The investigation report will include:

  • the allegations
  • comments by the person the allegations are against, with considerations by the investigating officer
  • a statement of all relevant findings, with the evidence provided
  • the conclusions reached (including the damage caused and the impact on the organisation and other affected parties) and the reasoning behind it
  • recommendations based upon those conclusions.

At the end of the investigation, the responsible person will be provided a copy of the investigation report and be consulted in regard to a decision on the matter. If the police are to be involved, this is to be done at the earliest possible opportunity.

Should the whistle-blower not be content with the outcome of the investigation, they can request the investigation be reopened. The organisation is not obligated to reopen an investigation if it feels it is unnecessary and that the prior investigation was conducted properly. A further complaint can still be made to ASIC should the whistle-blower still feel dissatisfied.

Note: It may not be possible to undertake an investigation if not enough information was provided and the disclosure was made anonymously, and it is not possible to contact the whistle-blower.

False and malicious reports

Employees should take care not to make deliberately false or malicious disclosures. Employees found (by the investigating officer) to have made such a disclosure will be subject to disciplinary action, including possible termination of employment.

Reporting externally

Employees are still covered by the whistle-blowers protections if they wish to report their concerns to ASIC, even if they have not raised their concerns internally first. A report can be lodged through ASIC’s online misconduct reporting form or by writing to ASIC. Concerns can be made to ASIC anonymously; however, ASIC will not be able to follow up for further information or advise what steps can be taken based on the information provided. However, anonymous reports still qualify for whistle-blower protections.

Other people who can receive a disclosure include:

  • the ATO
  • legal practitioners (for the purpose of obtaining legal advice)
  • regulatory bodies and other external parties (if authorised by the organisation), and
  • (under certain circumstances) journalists and members of Commonwealth, state or territory parliaments. (Public interest disclosure).

Responsibilities of employees

Employees are to:

  • be familiar with and regularly review this policy and related processes
  • report any disclosable matters
  • ensure reports of disclosable matters are private and confidential.

Responsibilities of the investigating officer

The investigating officer is to:

  • remain unbiased throughout the investigation
  • ensure the scale of the investigation is in proportion to the seriousness of the wrongdoing
  • ensure the investigation is completed in a fast and efficient manner
  • examine relevant documents and evidence
  • maintain strict confidentiality throughout the investigation
  • conduct interviews with relevant witnesses
  • keep accurate and clear records.

Responsibilities of the Group CEO

The Group CEO is to:

  • regularly review this policy and related processes
  • appoint an investigating officer
  • ensure sufficient resources are allocated to the investigating officer
  • ensure all reports by whistle-blowers are investigated to the necessary degree.

Responsibilities of the Board Directors

In the event the CEO is the person the allegations are placed against, the directors will have the same responsibilities as the CEO.